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Extracted from Consolidated Report

This investigation was originally published as part of a larger consolidated report containing multiple investigations. View the consolidated PDF for the complete document.

Placer County Grand Jury • 2014-2015

Placer County Grand Jury Investigation of County and City Operational Policies June 26, 2015 City of Roseville Call

Published: June 26, 2015 11 pages

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⚠️ Translation Notice: This content has been automatically translated. The original English text is the official version. Translation may contain errors.

⚠️ Este contenido ha sido traducido automáticamente. El texto original en inglés es la versión oficial. La traducción puede contener errores.

Findings 21 findings

Policies for travel seemed appropriate and adequate while recognizing the wide differences in size of the workforce and responsibilities. Colfax has policies, but they are not in writing.

Travel controls for all entities are adequate. Vehicle Policies Facts  County and all local governments have government vehicles. The majority of vehicle use is by public safety and public service departments.  The use of personal vehicles for official travel is reimbursed at the IRS approved mileage rate.  The Board of Supervisors and other elected local government officials are not assigned government owned vehicles.  Elected officials receive set allowances to compensate for transportation expenses.  Colfax does not have a written policy on vehicle use. Findings

Vehicle policies for all jurisdictions are satisfactory, although Cofax’s policy is not in writing. Credit Card Policies Facts  The county and all cities use credit cards. The number of cards in use varies; for example, Loomis has only one credit card, while Roseville has over 300 credit cards.  Managers or department heads are responsible for approving the issuance of cards and monitoring appropriate use.  Typical credit card use includes:  Travel expenses such as airfare and conference fees payable in advance  Purchases for emergency repairs  Numerous other authorized routine field expenses  Credit card expenses are reviewed and approved prior to payment.  Monitoring of credit card expenses is routinely done by staff and, proactively by the issuing credit card banks. Findings

Each government body has different policies and procedures for issuance and use of credit cards.

Credit cards are widely used by Placer County, Rocklin and Roseville. Use in other jurisdictions is more limited.

Monitoring and control of credit card use is adequate. Cell-Phone Polices Facts  All entities issue and use cell-phones for employee use.  The bulk of cell-phone use is by public safety and public service employees.  Elected officials generally use their own cell-phones and are reimbursed or have allowances covering such use.  Placer County and Roseville department heads authorize cell-phone issuances.  Placer County and Roseville IT departments have responsibility for negotiating cell- phone contracts. Findings

Monitoring cell phone usage continues to be an on-going challenge for management. Technology Policies Facts  All entities have a wide variety of hardware and software.  Placer County, Auburn, Rocklin,and Roseville have inter-disciplinary groups to assess technology changes, their application and their costs.  Some agencies monitor Internet access to preclude personal use.  Rocklin has a social media policy.  Roseville has e-mail and remote e-mail policies that employees must read, acknowledge and understand before signing.  Roseville incorporates technology training in yearly ethics training.  Cyber security insurance is purchased by Roseville.  Auburn has a technical procedures policy that employees must sign.  deleted Findings

Smart phones have blurred the lines between cell-phone and technology use policies.

Management oversight and monitoring of technology usage is an evolving challenge.

F10

The extent of personal computer and tablet usage varies with the number of employees.

F11

Management approach and policies on technology vary. Contracting, Bidding and Purchasing Policies Facts  Contracting and bidding practices vary but conform to state laws, regulations and appeared adequate. Findings

F12

All entities have adequate policies on contracting and bidding. Management and Administration of Policies Facts  Training policies and practices, both initial and recurring, vary.  All operational policies apply to elected officials as well as employees.  Not all policies were current and in writing.  Not all policies were organized and indexed.  Only Placer County has internal auditors on staff.  Roseville does not have an internal auditor but is considering adding this role.  Colfax has a policy and a complaint form for whistleblower reports. All others rely on Federal Law protecting whistleblowers but do not have a policy or form for written whistleblower reports. Findings

F13

Policies are not being updated in a timely fashion.

F14

Some, but not all, policies identified the original date of issue or date of review.

F15

Issuance dates, recurring reviews and approvals of operational policies were only completed by Placer County, Colfax and Roseville. Other entities revised policies on an “as necessary” basis.

F16

Complete standardized numbered policies were only available from Placer County and Roseville.

F17

Initial training on operational policies is completed for newly elected officials and new employees in a variety of ways.

F18

Recurring training policies can be improved.

F19

Management of technology innovations requires an inter-disciplinary approach.

F20

On-going internal auditing serves to monitor internal controls and minimize non- compliance and abuse. The addition of internal auditors would be valuable for the larger cities.

F21

Providing forms for employees to submit whistleblower reports in writing would be of value. Conclusions The Grand Jury’s review of the operating policies of the county and cities indicates they are appropriate. There are actions that the Grand Jury would consider best practices that should be instilled. Current policies apply equally to elected officials, appointed management and employees. Significant variability exists in the level of detail included in the operating policies of the county and various cities. As the size of the government entity and number of employees increases, more reliance is placed on managerial control.

Recommendations 11

R1

A written policy for travel and vehicle use be developed.
R2

A regular schedule be established for reviewing all policies to assure they are current.
R3

All policies should include, approval, adoption, and review dates. Policies should be indexed for improved access.
R4

Cell phone policies be documented.
R5

Computer and internet policies be documented.
R6

Technology policies include computer, tablet, internet and email use.
R7

Consideration should be given to the development of a Technology Resources Policy including a schedule of reviews and employee acknowledgements.
R8

Consideration be given to procuring cyber security insurance.
R9

Require that employees on a recurring schedule verify that they understand and acknowledge, by signature, operational policies and any changes thereto.
R10

A whistleblower policy and reporting form be developed.
R11

Consideration be given to adding one or more internal auditors to staff. Table 1 – Recommendations Recommendations

Conclusions 1

CL1

The Grand Jury’s review of the operating policies of the county and cities indicates they are appropriate. There are actions that the Grand Jury would consider best practices that should be instilled. Current policies apply equally to elected officials, appointed management and employees. Significant variability exists in the level of detail included in the operating policies of the county and various cities. As the size of the government entity and number of employees increases, more reliance is placed on managerial control.

No Responses Found 7

Government entities assigned to respond to this report. No response documents have been linked in our database.

Auburn City

Colfax City

Lincoln City

Placer County County

Rocklin City

Roseville City

Town of Loomis Town